Smith, Ian Micheal Corfield
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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Organisation | Role | Activity | From | Until | |
---|---|---|---|---|---|
1 | Credit Suisse (Hong Kong) Limited | Rep | Automated trading services | 2009-01-20 | 2010-03-31 |
2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2009-01-20 | 2010-03-31 |
3 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2009-01-20 | 2010-03-31 |
4 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2009-01-20 | 2010-03-31 |
5 | Citigroup Global Markets Asia Limited | Rep | Automated trading services | 2010-07-02 | 2013-07-19 |
6 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2010-07-02 | 2013-07-19 |
7 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2010-07-02 | 2013-07-19 |
8 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2010-07-02 | 2013-07-19 |
9 | Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2013-06-20 | 2013-07-19 |
10 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Automated trading services | 2013-10-21 | 2014-09-10 |
11 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in securities | 2013-10-21 | 2014-09-10 |
12 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-10-21 | 2016-10-10 |
13 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2013-10-21 | 2018-08-28 |
14 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Automated trading services | 2014-09-10 | 2016-10-10 |
15 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Dealing in securities | 2014-09-10 | 2016-10-10 |
16 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-11 | 2018-08-28 |
17 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Automated trading services | 2016-10-11 | 2019-11-16 |
18 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Dealing in securities | 2016-10-11 | 2019-11-16 |
19 | GOLDMAN SACHS (ASIA) L.L.C. | RO | Dealing in securities | 2018-08-28 | 2019-11-16 |
20 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | RO | Dealing in futures contracts | 2018-08-28 | 2019-11-16 |
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